ETRADE (RVMD) Form 144 lists RSU grants and prospective resale activity

Rhea-AI Filing Summary

ETRADE Financial Corporation submitted a Form 144 notice reporting Common Stock related to restricted stock unit grants and prospective sales. The excerpt lists grant dates and awarded share counts: 05/01/2023 1,307 shares; 03/01/2024 464 shares; 03/01/2025 517 shares. The filing references NASDAQ and a date of 03/16/2026.

Insights

Securities Compliance Counsel

Form 144 notice lists RSU grants and prospective resale activity for Common Stock.

The filing excerpt names ETRADE Financial Corporation as the issuer and records restricted stock unit grants dated 05/01/2023, 03/01/2024, and 03/01/2025, with award counts of 1,307, 464, and 517 respectively. It also shows an entry tied to 03/16/2026 and NASDAQ.

Cash‑flow treatment and the exact number of shares proposed for sale are not detailed in the excerpt; subsequent filings or the full Form 144 may provide the seller identity, sale method, and aggregate amount. Review the full filing for disposition details and any Rule 144 resale conditions.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common Stock	ETRADE Financial Corporation 3 Edison Drive Alpharetta GA 30005	2288	227861.92	198173397	03/16/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common Stock	05/01/2023	Restricted stock unit grant	Issuer			1307	05/01/2023	Services Rendered
Common Stock	03/01/2024	Restricted stock unit grant	Issuer			464	03/01/2024	Services Rendered
Common Stock	03/01/2025	Restricted stock unit grant	Issuer			517	03/01/2025	Services Rendered

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the RVMD Form 144 excerpt show about the issuer?

The excerpt lists ETRADE Financial Corporation as the issuer with an address at 3 Edison Drive, Alpharetta, GA. It identifies the security as Common Stock and references 03/16/2026 and NASDAQ.

Which restricted stock unit grants are listed in the RVMD excerpt?

The excerpt shows three RSU grant entries: 1,307 shares on 05/01/2023, 464 shares on 03/01/2024, and 517 shares on 03/01/2025. Each line is labeled as a restricted stock unit grant.

Does the excerpt state how many shares are being sold under the Form 144?

The provided excerpt does not state a clear aggregate sale amount tied to the Form 144. It lists RSU grant counts and other numeric fields but does not explicitly label a total number of shares offered for resale.

Who receives proceeds from any sale noted in the RVMD Form 144 excerpt?

The excerpt does not specify proceeds recipients or whether sales are by the issuer or selling holders. The lines shown identify grants and issuer information but do not disclose cash‑flow treatment for sales.

Is the seller identity or sale method described in the excerpt?

The excerpt does not identify the selling person or the proposed sale method. It records grant dates and share counts; the full Form 144 would be needed to see seller identity and distribution methods.